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MS

Michael S. Serra

Some features on this profile are disabled
CRD#: 6454855
MS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Steven Serra, who also goes by Michael Serra, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2015. Michael had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Serra

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. MMA Asset Management. Investment Related. 8 Tower Bridge Suite 1200, Conshohocken, PA. Associate Investment Officer. 07/2016. 160 Hrs/Mo; All During Trading Hours. Associate Investment Officer. 2. M. Serra, LLC-Not investment related-1201 Concord Ave, Drexel Hill, PA 19026-Beer Company-Partner-3/1/2019-30 hrs/mth-0 during trading hrs-Partner in a small beer venture. Providing financial analysis and sometimes performing ad-hoc duties with regards to beer delivery and sales (100% off business/security hours). 3. Concord Beverages, LLC; Non-Investment related; Partner in Beer Company; Start Date 3/1/2019; devote 30 hrs a month; Partner in a beer sales company. Provide financial analysis and other ad-hoc delivery/sales duties.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 16, 2020 - January 27, 2025

MMA ASSET MANAGEMENT LLC

RIA
CRD#: 155426
CONSHOHOCKEN, PA
Past

January 2, 2020 - January 27, 2025

MMA SECURITIES LLC

RIA
CRD#: 44254
Conshohocken, PA
Past

January 2, 2020 - January 27, 2025

MMA SECURITIES LLC

BD
CRD#: 44254
Conshohocken, PA
Past

January 5, 2017 - December 31, 2019

MMA ASSET MANAGEMENT LLC

RIA
CRD#: 155426
PLYMOUTH MEETING, PA
Past

November 23, 2016 - January 27, 2020

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Plymouth Meeting, PA
Past

June 25, 2015 - January 26, 2016

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Philadelphia, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MA
MMA ASSET MANAGEMENT LLC
CENTURION ASSET MANAGEMENT | MMA ASSET MANAGEMENT LLC | COMPASS FINANCIAL PARTNERS | CENTURION ASSET MANAGEMENT, LLC

CRD#: 155426 / SEC#: 801-71975

RIA
Registered Investment Advisory firm - (11/10/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/5/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 6/25/2015
Municipal Securities Representative Examination

Current Firm

MA
MMA ASSET MANAGEMENT LLC
CENTURION ASSET MANAGEMENT | MMA ASSET MANAGEMENT LLC | COMPASS FINANCIAL PARTNERS | CENTURION ASSET MANAGEMENT, LLC

CRD#: 155426 / SEC#: 801-71975

RIA
Registered Investment Advisory firm - (11/10/2010 Approved)
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Contact information

Main Address
161 Washington Street Suite 1200, Conshohocken, PA 19428
Mailing Address
1166 Avenue Of The Americas, New York, NY 10036
Phone number
(610) 684-3200
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MMA ASSET MANAGEMENT - INSTITUTIONAL FIRM BROCHURE 03.2025 (3/27/2025)
MMA ASSET MANAGEMENT - RETAIL FIRM BROCHURE 03.2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts555
AUM (Assets Under Management)$ 715,242,096

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MMA ASSET MANAGEMENT LLC

CRD#: 155426

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